System and Method for Policy Based Control of NAS Storage Devices

ABSTRACT

A system and method for providing policy-based data management and control on a NAS device deployed on a network and having event enabling framework software. When a user makes a request to store, read, or manipulate data on the NAS device, the NAS device provides an indication of this request to a management tool running on a remote system through the event enabling framework software. The management tool reviews the request in light of its previously established policy-based data storage management configuration and subsequently informs the NAS device, via the event enabling framework software, to either accept or not accept the user&#39;s request to store, read or modify data on the NAS device.

CROSS REFERENCE TO RELATED APPLICATIONS

This application claims priority, and is a Continuation-In-Part of co-pending U.S. patent application Ser. No. 13/098,036, entitled System and Method for Policy Based Control of NAS Storage Devices, filed on Apr. 29, 2011, which claims priority, and is a Continuation-In-Part of co-pending U.S. patent application Ser. No. 12/389,050, entitled System and Method for Policy Based Control of NAS Storage Devices, filed on Feb. 19, 2009, which claims priority to U.S. Provisional Patent Application Number 61/030,041, entitled, “System and Method for Policy Based File Blocking and Storage Consumption on NAS Storage Devices”, filed on Feb. 20, 2008, the contents all of which are incorporated herein by reference in their entireties for all purposes.

TECHNICAL FIELD

The present invention relates to data storage devices and more particularly, relates to a system and method for providing a data management policy for network-attached storage (NAS) devices.

BACKGROUND INFORMATION

A network-attached storage (NAS) device is a server that is dedicated to nothing more than file storing and sharing. A NAS device does not provide any of the activities that a general-purpose server in an application server system typically provides, such as e-mail, authentication or file management. NAS devices allow more hard disk storage space to be added to a network that already utilizes “traditional” servers without affecting other aspects of the network. With a NAS device, storage is not a part of multifunction “server”. Instead, in this storage-centric design, the NAS device serves to only store and deliver data to the user. A logical NAS can exist anywhere in a local or wide-area network and can be made up of multiple networked or clustered physical NAS devices.

Unfortunately, experience has shown that the more storage that is attached to a network the more information a user will attempt to store. Storage hardware and data growth continues at a phenomenal rate, consuming more and more of the IT budget. Although storage is relatively inexpensive, it is still a resource that must be managed and the only way to moderate the need to grow data storage and thereby reduce costs is to control what gets on the storage system and its disposition (i.e. retention) once there. Consequently, storage capacity management tools are a critical component to address this runaway growth.

Several companies, such as NTP Software (NTPS), the licensee of the present invention, provide such data storage management tools. NTPS's QFS® software is one such tool that allows system managers to set and enforce policies that control how much storage a user can consume, what types of data they can store, and how long they can keep it. Such policy based data storage management helps lower the cost of data storage and prolongs the life of existing hardware.

There is a class of NAS devices for which third party storage policy management tools can only communicate with this class of NAS's operating system via the NAS vendor's event enabling framework software. This class of NAS devices inherently supports only limited data storage management tools and indeed to date, there is no comprehensive policy based management software available for this class of NAS devices. Further, the single-purpose operating system built into this class of NAS devices does not and cannot support such management software without substantial modifications and requires third party storage policy management software to communicate to the NAS operating system via the NAS vendor's event enabling framework software.

Accordingly, what is needed is a system and method for facilitating the application of a data storage management policy on the class of NAS devices that employ event enabling framework software.

BRIEF DESCRIPTION OF THE DRAWINGS

These and other features and advantages of the present invention will be better understood by reading the following detailed description, taken together with the drawings wherein:

FIG. 1 is block diagram of a system implementing the policy based data storage management system and method of the present invention.

DETAILED DESCRIPTION

The present invention will be explained in connection with an exemplary system 10, FIG. 1, including a user device 12, a NAS device 14, the NAS device vendor's event enabling framework software 23, and data storage management software, hereafter called “management tool” 16, that serves to manage storage policies on the NAS device 14. The user device 12, NAS device 14 and management tool 16 are coupled together over a local or wide area network by means of a network communication path 18 which may be a wired or wireless network path. The user device 12 may be any form of computing or data processing device requiring access to data stored on the NAS device 14 such as a computer, laptop, PDA or cell phone enabled device or the like. The management tool 16 is preferably implemented as computer software located on a server computer that is a separate machine from the NAS device, and this server machine may also perform other functions and provide other features to the network such as hosting storage reporting and billing software or other network services typically provided by a server. Alternatively, the management tool 16 may also physically reside on or with a NAS device 14, all without limiting the scope of the present invention. As also shown in FIG. 1, particular embodiments of management tool 16 may be communicably coupled to a database 30, which may be disposed either locally to, or remotely from, tool 16.

As mentioned above, NAS devices 14 appear as “black boxes” to the network in that they do not have sophisticated processing or decision-making capabilities but rather, simply store data on request and/or provide requested information stored on the device. Accordingly, the present invention provides such management and control over stored data using management tool 16.

In accordance with one aspect of the present invention, the event enabling framework software 23 (not described but well known in the art) of the NAS device 14 is configured such that the management tool 16 will be called or invoked whenever a user device 12 makes a request to the NAS Device 14 to store, read or manipulate data on the NAS device 14. The management tool 16 thereafter will control storing data on the NAS device 14 through the event enabling framework software 23 which typically resides on some machine other than the NAS device 14, or with the policy management tool 16, although this is not a limitation of the present invention since the event enabling framework software 23 may be physically resident on one of multiple locations described herein. EMC CEE framework is an example of an event enabling framework software 23 designed and provided by EMC Corporation of Massachusetts for controlling access to files stored on their EMC brand NAS devices. The “configuration” of the management tool component 16 will be initiated through a process with the event enabling framework software 23 and the NAS device 14. This does not entail loading any software on the NAS device 14. Rather, it entails that after installing the event enabling framework software 23 on a machine, a configuration setting within the event enabling software 23 is set to allow management tool 16, such as NTP Software's QFS to be recognized (registered) by the event enabling framework software 23. This allows the management tool 16 to manage the NAS device 14. Registration encompasses telling the NAS device 14 that the event enabling framework software 23 is to be notified before the NAS device 14 proceeds with certain requests for operations by a user, and telling the event enabling framework software 23 to communicate with the management tool 16 in order to respond back to the NAS device 14 as to whether or not to deny the user request. Examples of these requests for operations are file opens, creates, deletes, renames, and closes. Once the management tool 16 is registered, the NAS device 14 will notify the management tool component 16, via the event enabling framework software 23 each time a user attempts to perform certain operations on a file on the NAS Device 14, such as open a file, modify a file, save a file or the like. For purposes of this application, a “user” includes but is not limited to a human being or a computer software application that needs access to data stored on the NAS device 14. The management tool component 16 must determine whether the user 12 should be allowed access to the file or not and respond appropriately to the NAS Device via the event enabling framework software 23. The event enabling framework software 23 provides the mechanism for the management tool component 16 to interface with NAS device 14 and allow or deny users to store, read, or manipulate data based on compliance with policies established in the management tool by authorized individuals. Moreover, in particular embodiments, management tool 16 may capture audit information pertaining to the aforementioned operations and determinations. For example, tool 16, alone or in combination with other elements of the system, may, e.g., at a user's option, write audit information about each operation and/or the determinations made in response thereto, to database 30. As non-limiting examples, this audit information may include one or more of: the end user's system ID, the end user's device (computer) ID, the end user's device (computer) IP address, the particular operation requested, the determination/status (e.g., succeed, fail) of the request, the host path and object referenced or otherwise manipulated by the requested operation, any policies that were applicable to the object at the time of the requested operation, and/or a timestamp for the particular request and/or determination. Management tool 16 may then retrieve and send 32 the stored audit information in response to a query 34 from an authorized user such as a system administrator, via a user interface supplied as part of the management tool 16. It should be recognized that the system administrator may access management tool 16 and its associated user interface via a local connection, or via a remote user device 12, 12′ having appropriate permissions to access tool 16 through network communication path 18.

Accordingly, when the user 12 issues a request 20 to the NAS device to read, modify or store data, the NAS device 14 determines that this request is one of the pre-configured requests that must be forwarded to the event enabling software 23 first and therefore invokes a call 22 to the event enabling software 23 which in turn issues a call 21 to the management tool 16. The management tool 16 is a policy-based data storage management tool such as the NTP QFS Software described above. The management tool 16 will review the request issued by the user in the form of the call 21 from the event enabling software 23 and provides an indication 24 to the event enabling software 23 which in turn provides an indication to the NAS device 14 as to whether or not the NAS device will be allowed to service the request 20 of the user. If the NAS device cannot service the user request, it will provide an indication 26 to the user 12 that such a request cannot be honored.

From a more technical perspective, the NAS device operating system detects that an action is being taken to store, read, or manipulate data. Because the present invention has been set up to communicate with the NAS device operating system via the event enabling framework software 23 as described above, the management tool 16 which performs the policy-based NAS device management is made aware of the actions that are requested to the NAS device 14, determines if such actions are in compliance with established policies which are stored in a database as part of the management tool 16, then commands the NAS device, via the event enabling software 23, to accept or deny the action requested by the initiating user device 12. The management tool 16 also captures and records the aforementioned audit information associated with the requested actions. These established policies have been previously configured by system administrators via a user interface supplied as part of the management tool 16.

An example of such a policy would be one that in effect stated “John Doe cannot store MP3 type files in directory ABC”. When the NAS device 14 denies a user request, it will indicate as such to the user. The management tool can also notify the user along with various other parties via a message in email or other communication mechanisms of the attempt and/or denial. The denial may be based on criteria other than based on the simple identity of the user. For example, it may be that no MP3 files are allowed in a particular folder or that the folder in question has reached its maximum allowable size, a user has been terminated, etc. The elements of a policy can be anything the system can determine.

Accordingly, the present invention facilitates the provision of a robust, well defined, policy based data storage device control over a storage device that would otherwise lack such robust control provided by a robust file policy management tool 16.

It should be recognized that the embodiments disclosed herein may be configured to operate using any number of protocols known to those skilled in the art. For example, in particular embodiments, the user device 12 and NAS device 14 may be configured to communicate using the conventional CIFS (Common Internet File System) Protocol, which is a network file sharing protocol commonly used by Windows-based devices. Although its primary purpose is file sharing, additional functionality may include the following: dialect negotiation; identifying other (e.g., Microsoft SMB Protocol) servers on the network, and/or network browsing; printing over a network; file, directory, and share access authentication; file and record locking; file and directory change notification; extended file attribute handling; and unicode support; etc. CIFS is a connection oriented protocol, which facilitates file sharing by its inclusion of connection (e.g., state) information such as the identity of the “owner” of a particular file and whether or not a file is currently open or otherwise in use by another user. Thus, CIFS and any number of other connection oriented protocols may be particularly well suited for use with embodiments of the present invention.

However, it may also be desirable to provide embodiments capable of handling communication from devices configured for using conventional “connectionless” protocols. For example, many UNIX-based devices communicate using the NFS (Network File System) protocol. Those skilled in the art will recognize that NFS is a relatively old network protocol that allows a user on a client computer to access files over a network in a manner similar to how local storage is accessed. In conventional NFS applications, a client machine may seek access to data stored on another machine (the NFS server). The server may then implement NFS daemon processes in order to make its data available to clients. The server administrator may then determine what to make available, exporting the names and parameters of directories. Server security administration ensures that it can recognize and approve validated clients. Users on the client machine may then view and interact with file systems on the server within the parameters permitted.

However, as mentioned above, the conventional NFS protocol is connectionless, and thus lacks the connection information desired to implement sophisticated policy based control of NAS devices as taught hereinabove. An alternate embodiment of the present invention, shown in FIG. 1, addresses this aspect by providing a series of file extensions for the NFS protocol, which are configured to convey various connection information, e.g., of the type commonly provided by the CIFS protocol. In this alternate embodiment, User Device 12′ and NAS device 14′ are configured to communicate using the NFS protocol as modified with these connection oriented NFS file extensions (the “NFS/Extension” protocol). Thus, in this alternate embodiment, NAS Device 14′ is configured to receive requests 20′ in the connection oriented NFS/extension protocol from user device 12′. NAS Device 14′ may then extract connection information from the connection oriented NFS/Extension requests 20′, which is then communicated to Framework Software 23 and Management Tool 16. Similarly, the NAS Device 14′ may send connection oriented NFS/Extension communications 26′ back to the user device 12′. In this manner, the various aforementioned requests for operations (e.g., file opens, creates, modifies, saves, deletes, renames, and closes, etc.) and the capture of the aforementioned audit information pertaining to those operations, may be effected using the NFS protocol.

It should be recognized that in various embodiments, management tool 16 and Framework Software 23 may be configured to communicate with one another using this modified NFS/extension protocol. Such communication, however, is not required. Rather, in particular embodiments, the NFS/Extension protocol may be used primarily by the user device 12′ and NAS device 14′, without requiring such use by Event Enabling Software 23 or Management Tool 16. In this regard, user device 12′ and NAS device 14′ may be configured to communicate using the NFS/extension protocol, to decode the NFS/extension to obtain the desired connection information, and then communicate the connection information to management tool 16 in any number of conventional formats, such as, for example, various Win32 APIs, RPCs, and TCP/IP sockets, etc.

Embodiments of the present invention may thus be configured to employ connectionless protocols, such as the conventional NFS protocol, modified as disclosed herein to include CIFS-style connection extensions, to effectively handle various user requests from non-Windows-based user devices 12′. These embodiments enable file connection information to be communicated from the user device 12′ to the NAS device 14′. This connection information may then be communicated to Framework Software 23 and ultimately to management tool 16, using any convenient protocol(s), to effect any of the aforementioned operations, such as file opens, creates, modifies, saves, deletes, renames, and closes, etc., in accordance with the relatively sophisticated policy based control schemes discussed hereinabove.

Modifications and substitutions by one of ordinary skill in the art are considered to be within the scope of the present invention, which is not to be limited except by the allowed claims and their legal equivalents. 

What is claimed is:
 1. A system for providing policy-based data management and control of a network attached storage (NAS) device, comprising: at least one network attached storage device, coupled to a network and including a data storage device configured for storing data; event enabling framework software, said network attached storage device event enabling framework software coupled to said at least one network attached storage device and to a network attached storage device policy based management tool, and configured for receiving user requests from said network attached storage device and for passing said received user requests for access to or storing data on said network attached storage device to a network attached storage device policy based management tool, said network attached storage device policy based management tool configured for determining whether a user request for access to or storing data on said network attached storage device is compliant with one or more established policies, said event enabling framework software responsive to said determination of whether or not said user will be authorized to perform said requested access to or storage of data on said network attached storage device received from said network attached storage device policy based management tool, for providing an indication of said determination to said network attached storage device; a network attached storage device policy based management tool, coupled to said network and to said event enabling framework software and operating on a device other than said at least one network attached storage device, and having one or more configurable parameters defining said one or more established policies, for controlling user access to and storing data on said network attached storage device, and configured for allowing a user to enter said network attached storage device established policies, and responsive to said indication from said event enabling framework software of a user requesting to access or to store data on said network attached storage device, for providing an indication to said event enabling framework software of whether or not said user is authorized to perform said requested access to or storage of data on said network attached storage device; a database communicably coupled to said management tool; and said management tool configured to capture audit information related to said received user requests and to said determination, and further configured to store the captured audit information in said database.
 2. The system of claim 1, wherein said audit information comprises one or more of: a user's system ID, a user's device ID, a user's device IP address, the user request, the determination, a host path and object referenced by the user request, a policy applicable to the object at the time of the request or determination, and a timestamp for the request or determination.
 3. The system of claim 2, wherein the management tool is configured to retrieve and send the stored audit information in response to a query from an authorized user.
 4. The system of claim 1, wherein said network attached storage device policy based management tool configurable parameter includes whether or not said event enabling framework software must provide an indication when a user is requesting access to or storage of data on said network attached storage device.
 5. The system of claim 1, wherein said network attached storage device event enabling framework software is responsive to an indication from said network attached storage device policy based management tool that said user is not authorized to perform said requested access to or storage of data on said network attached storage device, and for providing said indication to network attached storage device for providing said indication to said requesting user.
 6. The system of claim 1, wherein the network attached storage device is configured for receiving and responding to the user requests using a connectionless protocol modified to provide connection information.
 7. The system of claim 6, wherein the connectionless protocol modified to provide connection information comprises the NFS (Network File System) protocol modified to provide connection information.
 8. A system for providing policy-based data management and control of a network attached storage (NAS) device, comprising: at least one network attached storage device, coupled to a network and including a data storage device configured for storing data; event enabling framework software, said network attached storage device event enabling framework software coupled to said at least one network attached storage device and to a network attached storage device policy based management tool, and configured for receiving user requests from said network attached storage device and for passing said received user requests for access to or storing data on said network attached storage device to a network attached storage device policy based management tool, said network attached storage device policy based management tool configured for determining whether a user request for access to or storing data on said network attached storage device is compliant with one or more established policies, said event enabling framework software responsive to said determination of whether or not said user will be authorized to perform said requested access to or storage of data on said network attached storage device received from said network attached storage device policy based management tool, for providing an indication of said determination to said network attached storage device; a network attached storage device policy based management tool, coupled to said network and to said event enabling framework software and operating on a device other than said at least one network attached storage device, said network attached storage device policy based management tool configured for receiving one or more configurable parameters of said network attached storage device defining said one or more established policies, said one or more configurable parameters for controlling user access to and storing data on said network attached storage device, said network attached storage device policy based management tool configured for allowing a user to enter said one or more configurable parameters for said network attached storage device, and responsive to said indication from said event enabling framework software of a user requesting to access or to store data on said network attached storage device, for providing an indication to said event enabling framework software of said network attached storage device of whether or not said user is authorized to perform said requested access to or storage of data on said network attached storage device; a database communicably coupled to said management tool; and said management tool configured to capture audit information related to said received user requests and to said determination, and further configured to store the captured audit information in said database.
 9. The system of claim 8, wherein said audit information comprises one or more of: a user's system ID, a user's device ID, a user's device IP address, the user request, the determination, a host path and object referenced by the user request, a policy applicable to the object at the time of the request or determination, and a timestamp for the request or determination.
 10. The system of claim 9, wherein the management tool is configured to retrieve and send the stored audit information in response to a query from an authorized user.
 11. The system of claim 8, wherein the network attached storage device is configured for receiving and responding to user requests using a connectionless protocol modified to provide connection information.
 12. The system of claim 11, wherein the connectionless protocol modified to provide connection information comprises the NFS (Network File System) protocol modified to provide connection information.
 13. A method for providing policy-based data management and control of a network attached storage device utilizing the system of claim 1, comprising the acts of: (a) receiving, by said network attached storage device policy based management tool, system administrator entered network attached device policies, and responsive to said entered network attached device policies, for providing at least one network attached storage device configurable parameters; (b) receiving, by said network attached storage device from said network attached storage device policy based management tool, said configurable parameter configuring said event enabling framework software such that it must provide an indication when a user is requesting access to or the storage of data on said network attached storage device; (c) receiving, by said network attached storage device, a request by a user to access or store data on said network attached storage device; (d) responsive to receiving said user request, said event enabling framework software providing an indication to said network attached storage device policy based management tool that a user is requesting to access or store data on said network attached storage device; (e) responsive to said indication to said network attached storage device policy based management tool, determining, by said network attached storage device policy based management tool, whether said user is authorized to perform said request to access or stored data on said network attached storage device, and providing said indication to said network attached storage device event enabling framework software; (f) responsive to said indication from said network attached storage device policy based management tool, said network attached storage device event enabling framework software allowing said user to access or store data on said network attached storage device if said indication is positive and if said indication is negative, refusing to allow said user to access or stored data on said network attached storage device and providing said indication to said requesting user; and (g) capturing, with the management tool, audit information related to the received user requests and to the determination, and storing the captured audit information to a database communicably coupled to said management tool.
 14. The method of claim 13, wherein said capturing (g) further comprises capturing audit information including one or more of: a user's system ID, a user's device ID, a user's device IP address, the user request, the determination, a host path and object referenced by the user request, a policy applicable to the object at the time of the request or determination, and a timestamp for the request or determination.
 15. The method of claim 14, further comprising retrieving and sending, with the management tool, the stored audit information in response to a query from an authorized user.
 16. The method of claim 13, wherein said receiving (c) comprises receiving, by said network attached storage device, a request by a user to access or store data on said network attached storage device, the user request being configured in a connectionless protocol modified to provide connection information.
 17. The method of claim 16, wherein said receiving (c) comprises receiving, by said network attached storage device, a request by a user to access or store data on said network attached storage device, the user request being configured in the NFS (Network File System) protocol modified to include connection information. 